DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

THOMAS JOHN FARRELL

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Olathe, KS | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:daf9794a-89ca-955f-2b76-8b14b638443f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 20, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 20, 1999
First registration: Nov 14, 2005
Dual registered: yes, broker-dealer
Other names: THOMAS J MILLER|THOMAS JOHN MILLER|THOMAS JOHN FARRELL|THOMAS JOHN FARRELL
IAPD individual key: 3235191

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	Apr 23, 2024	n/a	yes	Olathe, KS\|NEW YORK, NY	Current employment
STRINGER ASSET MANAGEMENT, LLC	Former SEC adviser	Feb 6, 2020	Apr 16, 2024	no	Olathe, KS\|MEMPHIS, TN	Previous registration
ASPYRE WEALTH PARTNERS	Independent wealth	Sep 13, 2018	Aug 15, 2019	no	OVERLAND PARK, KS	Previous registration
THORNBURG INVESTMENT MANAGEMENT INC	Asset manager	Aug 29, 2007	Feb 7, 2018	no	SANTA FE, NM\|SANTA FE, NM\|OCONOMOWOC, WI\|OVERLAND PARK, KS	Previous registration
THORNBURG INVESTMENT MANAGEMENT INC	Asset manager	Aug 15, 2007	Aug 28, 2007	no	SANTA FE, NM	Previous registration
VICTORY CAPITAL MANAGEMENT INC.	Asset manager	Nov 14, 2005	Jun 1, 2007	no	SAN ANTONIO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STRINGER ASSET MANAGEMENT, LLC	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Apr 16, 2024	Apr 23, 2024	7	Firm change	Other
ASPYRE WEALTH PARTNERS	STRINGER ASSET MANAGEMENT, LLC	Aug 15, 2019	Feb 6, 2020	175	Firm change	RIA to RIA
THORNBURG INVESTMENT MANAGEMENT INC	ASPYRE WEALTH PARTNERS	Feb 7, 2018	Sep 13, 2018	218	Firm change	Other
VICTORY CAPITAL MANAGEMENT INC.	THORNBURG INVESTMENT MANAGEMENT INC	Jun 1, 2007	Aug 15, 2007	75	Firm change	Other

Relationships

Registered with (5)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Apr 23, 2024 to presentfactForm ADV
→ STRINGER ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 6, 2020 to Apr 16, 2024factForm ADV
→ ASPYRE WEALTH PARTNERSRegistered adviserregistration: previous registration
Sep 13, 2018 to Aug 15, 2019factForm ADV
→ THORNBURG INVESTMENT MANAGEMENT INCRegistered adviserregistration: previous registration
Aug 29, 2007 to Feb 7, 2018factForm ADV
→ VICTORY CAPITAL MANAGEMENT INC.Registered adviserregistration: previous registration
Nov 14, 2005 to Jun 1, 2007factForm ADV

Dated events

Occurred
Apr 16, 2024
Advisor changed firm
Thomas John Farrell left Stringer Asset Management, Llc for New York Life Investment Management Llc (registered 2024-04-23)
Form ADVobserved 6 days ago